Records Survey and Retention Schedule Recertification 2011.

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Records Survey and Retention Schedule Recertification 2011

Why the Texas State Library and Archives Commission (TSLAC) wants us to do this

•Improve the efficiency of recordkeeping.

•Ensure access to public information.

•Reduce operational costs.

• Development of a records retention schedule.

• Management of filing and information retrieval systems in all media.

• Protection of archival, vital, and confidential records.

• Economical and space-effective storage of inactive records .

• Control of creation and distribution of forms, reports, and correspondence.

• Maintenance of public information in a manner to facilitate access by the public.

We are going to combine these two tasks.

Standard “old school” inventory/surveys can be extremely time-consuming.

We will conduct a streamlined survey to gather the most critical information for the management of our records and to prepare the recertification schedule that is due in 2011.

The Texas Government Code Chapter 441, Subchapter L, 441.185, requires us to survey our records and State Agency Bulletin #3 Section 6.3 requires us to submit records retention schedules for recertification every three years.

• Identify all official records that are not yet listed on the certified schedule.

• Identify the owners of official record copies of official records.

• Correct retention schedules as needed.

• Ensure that all archival records are identified.

• Locate vital records that will need vital records plans.

• Locate public information to facilitate access.

• Locate confidential information to ensure protection.

• Provide a factual basis for determining best media and best locations for inactive records.

•Forms will be used to gather data.

•Completed forms will be sent to Net Solutions.

•Net Solutions staff will input to database.

•David and Karen will review and follow up.

•Input will be used to update schedule and generate reports.

(Timeline is estimated with phase limited commitment except for the submission of the recertification schedule, which must be completed in November.)

•Training conducted in March .

•Survey, information gathering, processing, question and answer , research conducted March through September.

•Draft recertification and report generation and review scheduled starting in September ending in October.

•Recertification schedule must be submitted to State in November.

•Reports and summaries of information gathered will be shared with RMCs in December.

M• Prepare forms for each area where records are kept.

• Access the current records retention schedule.

• Complete a form for each record series .

• Forward completed forms to Net Solutions.

Standard records "inventory" forms require collection of up to 35 different pieces of information for each records series.

For our survey and recertification process we are collecting only 11 pieces of information for each records series.

Data collected will enable us to submit the recertification due in November and apply basic management analysis to UT Arlington's records.

Count only OFFICIAL BUSINESS RECORDS!

Official business records are “any written, photographic, machine-readable, or other recorded information created or received by or on behalf of a state agency or an elected state official that documents activities in the conduct of the state business or use of public resources.”

Count only official business records SERIES.

It is possible for a records series to contain only one record or document, but this is rare. Records series are groups of records that are so closely related they can be referred to as one item.

Electronic records series are:

•Official state records series in electronic format.

•Produced, maintained, and accessed electronically.

•Example: Word files, electronic images, tapes, DVDs.

• Do not list electronic records series if they are not official business records series.

• Do not list collections of electronic documents that are disorganized, unrelated, and duplicated somewhere else.

• Do not list sets of electronic documents that are assembled by a Google or other search working through content or uncontrolled indexing.

Bldg., Floor, Room, Dept. and RMC fields.

Refer to the list of building abbreviations on the “maps and directions” UT Arlington webpage. Use the abbreviation for your building in the “Bldg.” field.

Complete the floor, room (if there is a room number available), Dept., and RMC fields. Enter your Net ID in the RMC/Net ID field.

Make copies according to estimated number of records series in this location.

Enter the UT Arlington code or a new records series title in the “UT Arlington code or unlisted title” field.

If a record series on the UT Arlington certified schedule fits the records series, then enter the UT Arlington code for that record series.

If there is no record series that can be used, then enter a complete description of the records series.

Check a box in the “Public or confidential or mixed” field.

If you know that information that is confidential by law or restricted by University or departmental policy is included in the records series, then check the confidential or mixed box. If you are unsure, then check the confidential or mixed box.

Check a box in the “Official record copy or Reference/duplicate copy” field.

If your department is the “owner” of the records series and/or you hold the “official” original or master record copy, then check the Official record copy box.

If your department has only duplicates or printouts of records that are officially maintained in another department or system, then check the Reference/duplicate copy.

Place a check mark in the "Vital" box or the "Archival" box if appropriate.

Refer to the retention schedule for existing records series. If you need to discuss changing the current vital or archival status of the records series leave these boxes blank.

If you are documenting a new and unlisted records series leave these boxes blank.

Enter the earliest and latest years of the records series.

Review all the documents in the records series to identify the earliest and most recent dates. Enter the entire dates if available. If not, enter the month and year, or the just the year if that is all that's documented on the records.

Enter the estimated growth per year. Use whatever measurement of volume is easiest. If the records are paper or stored on DVDs, tapes, etc. measure the physical space needed to store one year's worth. If the records are stored on a drive or in the University's software, then estimate the amount of space needed to store one year of records.

Enter the amount of active records stored.

Again, use the measure most appropriate for the records.

Active records are those that are accessed and/or used at least twice a year.

Enter the medium on which the records are stored, e.g. paper, film, digital, etc.

Enter the amount of inactive records being stored.

Use the measure most appropriate for the records.

Inactive records are those that are no longer accessed and/or used more than once per year.

Enter the medium on which the records are stored, e.g. paper, film, digital, etc.

Enter a check in the box if the records are electronic and a security copy if maintained. Also, if the records are backed up, indicate how long the backup is maintained.

If the records are not electronic, leave this area blank.

Enter the final disposition of the records. If there is a check box for what is done with the records, enter a check mark. If not, enter the disposition method on the "other" line.

Enter how the records are used. This information describes the procedure or procedures that require the records in order to be completed.

You are now done with this records series... let's move on to the next one!

Records Survey and Retention Schedule Recertification 2011.

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